GUIDANCE ON INTERNAL QUALITY
ASSURANCE OF QUALIFICATIONS
FORMS AND DOCUMENTS
Guidance on Internal Quality Assurance of qualifications
www.cityandguilds.com
May 2012
Version 1.0
Page 1 of 24
Contents
Proforma 1
IQA induction checklist
Proforma 2
Qualification unit or qualification achievement sheet and certification request
Proforma 3
IQA concerns form
Proforma 4
IQA report form and guidance
Proforma 5
IQA final portfolio/ qualification report form
Proforma 6
Assessor induction agreement
Proforma 7
Assessor induction checklist
Proforma 8
Countersigning report form
Proforma 9
Continuing professional development record
Proforma 10 IQA observation and questioning checklist
Proforma 11 Internal quality assurance sampling plan and record
Proforma 12 Internal quality assurance learner interview record
Proforma 13 Exemplar IQA sampling strategies and plans
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PROMFORMA 1
IQA INDUCTION CHECKLIST
IQA name ………………………………………. Date of commencement at centre
Signed by IQA
1
Provided: CV and qualification certificates to prove
requirements are met at the appropriate level
2
Provided: original D34, V1or relevant TAQA
certificate which was checked and photocopied.
Original returned and EQA-validated photocopy
kept in centre records
3
Received: the centre organisation chart
4
Received: the centre equality of access policy
5
Received: centre internal quality assurance policy,
procedures and recording documentation
6
Received: City & Guilds ‘Our Quality Assurance
Requirements’
7
Received or know where to access: relevant
qualification updates
8
Received: information about allocated assessors
and their learners
9
Received: information on the processing of records
for registration and certification of learners
10
Received: list of compulsory standardisation
meetings/activities
Signed by new IQA
Date
Date
Signed (countersigning IQAC/IQA)
Guidance on Internal Quality Assurance of qualifications
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PROMFORMA 2
QUALIFICATION UNIT OR QUALIFICATION ACHIEVEMENT SHEET AND CERTIFICATION REQUEST
This should only be completed when positive unit/qualification internal quality assurance has taken place for qualifications and the result is to be processed to either
update the centre database or for certification purposes. Original unit and qualification achievement summary sheets should be attached as appropriate.
Learner name
City & Guilds
registration
number
Site
Assessor
Qualification
Level Units achieved
Full
qualification
achieved?
(YES / NO)
Centre administrator: Please enter results for the above learner(s) onto the centre learner database and apply to City & Guilds for certification.
IQA signature
Date
Countersigning IQA signature
(if necessary)
Date
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PROFORMA 3
IQA CONCERNS FORM
Feedback to IQA co-ordinator (IQAC) , quality assurance co-ordinator (QAC) or centre contact (CC)
The areas of concern should be completed by the IQA and handed to the IQA co-ordinator, QAC or CC as
appropriate.
Areas of concern:
Agreed action and target date:
IQA signature
Countersigning IQA signature
(if necessary)
IQAC/QAC signature
Date
Date
Date
Action taken:
IQA/IQAC/QAC signatures
Date
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PROFORMA 4
IQA REPORT FORM
NB This form can be used for single or multiple assessors/learners
It is the responsibility of the IQA to complete this form, make copies, send the original to the QAC/IQAC and ensure a copy is given to the tutors/assessor(s).
Name of IQA
Name of countersigning IQA (if necessary)
Date of internal quality assurance
Name of tutor/ assessor(s)
(Please indicate whether tutor or assessor(s) by using T or A after their name. If assessor is work based or peripatetic also use WB or P after their name)
Name of
learner(s)
City & Guilds
Title and
level of
qualification
registration
Programme/Units/
LOs sampled.
Include reference
numbers
Methods of
delivery or
assessment (see
key)
Issues
Assessment
process
sampled
(see key)
Units achieved
(including date
if full
qualification)
Name of countersigning assessor/IQA(s) (if necessary)
Please continue on additional sheet(s) if necessary
Key:
Method of delivery/assessment
TS – Training Session
GL – Guided Learning
P – Planning
DO – Direct Observation EWT – Expert Witness Testimony
RPL – Recognition of Prior Learning
WT – Witness Testimony
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WP – Work Product
S – Simulation
A – Assignments
CS - Case Study
RA - Reflective Accounts
Q – Questioning
PD - Professional Discussion
PJ – Projects
ST – Skills Tests
Assessment process checked
P – Planning
F – Feedback
FC – Final Check
J – Judgement Rec – Records R – Review
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NB
Where more than one tutor or assessor has been involved in this internal quality assurance
activity, individual feedback should be given using this form
Tutor/Assessor name
Details of any problems regarding learner access to the learning or assessment process
Details of any disagreements/appeals and outcome of action taken
Summary of comments/action plan for the tutor or assessor
Action plan with target dates
If necessary, please continue on an additional page
Confirmation of previous identified action being achieved
All the above has been discussed (please sign as appropriate)
IQA signature
Date
Countersigning IQA signature (if necessary)
Date
Tutor/assessor signature
Date
Countersigning assessor/IQA signature (if necessary)
Date
The countersigning IQA must check all the activities of the unqualified IQA whom they are supporting.
Countersigning IQA feedback on the internal quality assurance process and any necessary action
required.
The methods and processes used by the unqualified IQA have been checked and quality assured by a
qualified IQA.
Countersigning IQA signature
Date
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PROFORMA 5
IQA FINAL QUALIFICATION SAMPLE REPORT FORM
IQA name
Countersigning IQA name (if necessary)
Tutor/Assessor name
Countersigning assessor/IQA name (if necessary)
Learner name and City & Guilds enrolment no
Learner assessment location
Title of qualification
Full qualification IQA sampled 
Yes  No
Yes
Training/learning records are complete and available for storage in centre
records.
Not
yet
✔
Evidence/portfolio is clearly sectioned and easily accessed. An effective
referencing system is in place.
✔
Decisions of unqualified assessors have been countersigned by a qualified
assessor.
✔
Initial assessment, access to appeals and witness status list are complete.
✔
Documents confirming assessor involvement in the full assessment cycle
(planning, review, feedback) are available for storage in centre records
✔
Records of assessment decisions are complete and accurate.
✔
All relevant documentation is dated and signed.
✔
Qualification/unit summary achievement sheet is complete.
✔
Assessment process documents are complete and available for storage in centre
records.
✔
Internal quality assurance process documents are completed and available for
storage in centre records.
Action for tutor/assessor (if any)
✔
Plan achieved
IQA signature
Date
Countersigning IQA signature
(if necessary)
Date
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PROFORMA 6
TUTOR/ASSESSOR INDUCTION AGREEMENT
Tutor/Assessor name
Telephone number
E-mail
The qualification title and level that I will be delivering or assessing is
Centre name and contact details
Address
Telephone
E-mail
Centre number
My countersigning assessor/IQA is
Telephone
E-mail
My IQA is
Telephone
E-mail
The centre quality assurance co-ordinator is
Telephone
E-mail
The Qualification Consultant is
The awarding organisation is City & Guilds which can be contacted at their local office
Telephone
I have completed the whole induction programme and am now fully familiar with my responsibilities as a
qualifications tutor and/or assessor.
I understand the procedures for monitoring the standard of my delivery/assessment practice and for seeking
immediate help, should either I or my learner experience difficulty.
Signed
Date
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PROFORMA 7
TUTOR/ASSESSOR INDUCTION CHECKLIST
Tutor/Assessor name
Date of commencement at centre
Signed by assessor
1
Provided: CV and qualification certificates to prove
required knowledge and skills at appropriate level
2
Provided: original D32, D33, A1or relevant TAQA
certificate which was checked and photocopied.
Original returned and EQA-validated photocopy
kept in centre records
3
Received: centre organisation chart
4
Received: centre equality of access policy
5
Received: centre assessment procedures,
recording documentation and qualification
standards
6
Received or know where to access: relevant
qualification updates
7
Received or know where to access: City & Guilds’
Supporting Customer Excellence Centre Manual
and Our Quality Assurance Requirements
8
Received: information about allocated learner(s)
9
Received: a copy of the qualifications tutor,
assessor and learner induction programmes and
packs
10
Received: information on the processing of records
for registration and certification of learners
11
Received: list and dates of compulsory
standardisation meetings/activities
Signed by new tutor/assessor
Date
Date
Signed by IQA
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PROFORMA 8
COUNTERSIGNING REPORT FORM
Trainee assessor name
Countersigning assessor/IQA name
Learner name(s)
Unit numbers/titles and level
Check and countersign assessment decisions made in each unit by the unqualified assessor ensuring that all the
assessment methods used are checked in rotation. The assessment process should also be checked.
Method(s) of assessment and evidence sources sampled (please tick)
Direct observation 
Work product
Expert witness testimony 


Simulation
■
■
Witness testimony 

RPL
Assignment/Projects/Case Study/Learner/Reflective accounts


Questions/Professional discussion
The evidence is (please tick or cross as appropriate):
Valid

Current 
Authentic

Reliable

Sufficient

Is there evidence of consistent practice?
Yes 
No

Are all requirements met?
Yes 
No

Part of assessment process checked (please tick or cross as appropriate):
Planning

Recording 

Reviewing/feedback

Judgement
Evidence / work is correctly (please tick or cross as appropriate):
Recorded 
Referenced 
Marked 
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Signed/dated by unqualified assessor and the learner 
Summary of advice, and if necessary, action required
Confirmation of identified action being achieved
The evidence, methods and process used by this unqualified assessor have been checked and authenticated by a
qualified assessor.
Countersigning assessor/IQA signature
Date
Trainee assessor signature
Date
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PROFORMA 9
CONTINUING PROFESSIONAL DEVELOPMENT RECORD
(NB This form can be used by tutors, assessors and IQAs, delete as appropriate)
Tutor/Assessor/IQA name
Last IQA observation date
Next IQA observation date
Dates of standardisation meeting(s) attended since the last review
If the tutor/assessor/IQA is unqualified, record the date when they were registered with the awarding organisation
Details of any CPD activities undertaken and their relevance
Training needs and/or identified CPD opportunities
Action plan for meeting training needs and CPD opportunities. Identify date for review and/or achievement
and ensure that the what, when and who of the target action required is recorded.
Evidence of achievement (attach evidence where appropriate)
All the above has been discussed and agreed
IQA signature
Date
IQAC signature
Date
Tutor/ Assessor signature
Date
Date of next review
Where training needs or CPD opportunities have resource implications, eg time/finance please ensure a copy of
this form is passed to the Quality Assurance Co-ordinator.
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PROFORMA 10
IQA OBSERVATION AND QUESTIONING CHECKLIST
IQA name
Unit(s) reviewed
Assessor name
Learner name(s)
Did the assessor:
Yes No
Evidence
Develop and agree an assessment plan with
the learner(s) using appropriate assessment
methods?
Agree when assessment will take place with
learner(s) and other people involved?
✔
Agree arrangements with the learner(s) for
reviewing progress against the assessment
plan?
Review and update assessment plans to take
account of learner achievements?
Give the learner(s) feedback at an
appropriate time and pace?
Give feedback in a constructive and
encouraging way?
✔
Give feedback to the learner(s) which met
their needs and was appropriate to their level
of confidence?
✔
Clearly explain the assessment decisions?
✔
Encourage learner(s) to get advice on the
assessment decisions?
✔
Can the assessor explain:
How to operate the centre standardisation
and internal quality assurance procedures?
✔
How to access the centre appeals and access
to fair assessment policy?
✔
What information is made available by the
awarding organisation and QAC?
✔
How to identify and gain resources to
support learners who have special
assessment needs?
✔
Additional comments
Assessor signature
Date
IQA signature
Date
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PROFORMA 11
INTERNAL QUALITY ASSURANCE SAMPLING PLAN AND RECORD
INTERNAL QUALITY ASSURANCE SAMPLING PLAN AND RECORD
Qualification:
Standardisation unit: Unit 1 (Communication) across all levels
Name of IQA:
Assessor
Assessor
Status
Assessment
Site
Candidate
Units that have been assessed. Units to
be sampled by the IQA according to the
sampling plan are shaded.
Any variations from the plan are in bold
Assessment
process
reviewed
Method of
Assessment
checked
E. Xample
Q
Leeds
L. Earner
1
P
WT
2
3
4
5
6
R
Key -
agreed sampling
additional sampling until assessor
confident re: centre practices
Assessor Status
Q – Qualified
Method of Assessment
DO – Direct Observations
Assessment Process
P – Planning
NQ – Not Qualified
RPL – Recognition of Prior Learning
R – Review
NSQ – New staff qualified
EWT – Expert Witness Testimony
F – Feedback
NSQ – New staff not qualified
WP – Work Product
FC – Final Check
WT – Witness Testimony
Q – Questions
APCS – Assignment / Project / Case Study
S - Simulation
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DO
PROFORMA 12
INTERNAL QUALITY ASSURANCE LEARNER INTERVIEW RECORD
Learner name
Assessor name
Qualification & level
IQA name:
When did you begin the programme?
How were you introduced to the programme?
What topics were covered in your induction?
Was any of your prior experience considered or
used towards the qualification?
Did anyone find out about any training you
needed?
Did you complete a training programme whilst
working towards your qualification? If so, what?
How was it delivered?
Who delivered the training? Where and when
was it carried out?
Was equality law and the centre’s equality policy
explained to you? What do you think it meant?
Was the process of getting your qualification
explained to you? If so, what do you understand
this process to be?
Did you draw up a plan to achieve the
qualification with your assessor or supervisor?
Does your assessor or supervisor involve you in
planning assessments in advance?
When, where and how does assessment take
place?
Continued on next page
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What work have you had assessed so far? What
types of evidence have you collected?
Do you understand what aspects of your
qualification the work covers?
How soon after you started was your first
assessment?
Who assesses your evidence? Does anyone else
see your work?
How often do you see your tutor or assessor? Do
you feel this is often enough? If not, how often
would you like them to visit?
Does your assessor give you feedback after
assessment? Is this feedback in written form? Do
they explain it to you?
What units have you completed so far? Have you
signed any paperwork to confirm completion?
What kind of help and guidance have you
received to do your work or put your portfolio
together?
How do you think the qualification will help you
now and in the future?
I agree for this information to be shared with my tutor and/or assessor.
Learner signature
Date…………………………………..
IQA signature
Date……………………………………
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PROFORMA 13
EXEMPLAR IQA SAMPLING STRATEGIES AND PLANS
This exemplar describes the implementation of an appropriate sampling strategy and the resulting plans
developed for two different types of centre:
•
A small single qualification centre
•
A large, complex, multi-qualification, multi-size, multi-agency centre
These exemplars provide a thorough approach for those sectors where each learner is subject to internal quality
assurance. In those sectors where it is not required that all learners are internally quality assured an appropriate
sample of learners will be identified within the IQA sampling strategy. All other sampling principles should then
still apply.
Please note that this document is exemplar material only.
Introduction
In order to improve and standardise the role of the IQA within centres City & Guilds delivers generic Internal
quality assurance workshops –‘Introduction to IQA practice’ for new or unqualified IQAs and ‘Improving IQA
practice’ for experienced practitioners.
Exemplar centre one
Our first centre is employer-based and has two qualified IQAs, one of whom acts as the quality assurance coordinator.
The two IQAs each lead a team of one tutor/assessor and two work-based assessors who in turn have six learners,
all undertaking the same qualification, but at different levels (Levels 2, 3 and 4).
• Assessors A and B are qualified, experienced and regarded as effective within the centre
• Tutor/assessor C is registered for and working towards TAQA 6317-31 ‘Award in assessing competence in the
work Environment’.
The strategy
As all personnel are work-based, with assessment and internal quality assurance forming only a minor part of their
ordinary work roles, the IQA strategy is designed to ensure consistent support for the tutor, assessors and
learners by regular contact. Experience has proven that an absence of IQA/tutor/assessor/learner interaction
leads to inconsistent practice and a real slow down in learner progress.
The IQA will undertake an IQA activity involving each team member and some of their learners every three
months. These activities will include:
• Sampling the units as identified on the centre sampling plan (Proforma 11).
• Observing practice at least once per year (Proforma 10).
• Interviewing learners about their experience of assessment practice (Proforma 12).
Each internal quality assurance plan applies to all learners registered within an identified 6 month period. This
plan follows them until they complete or leave.
Learners registered after this six month period will be allocated to the next internal quality assurance plan.
The following plan covers January – July 2011.
The unit that will be sampled at all levels is Unit 1; a mandatory unit which covers communication. This will form
the basis of the IQA and assessor standardisation activity for this group of learners. The aim will be to identify any
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problems which may be common (eg appropriate interpretation of the standards.) and then to take any required
remedial actions.
The focus of the IQA sampling within Unit 1 will be:
• Method of assessment
Direct Observation / Expert Witness Testimony – as these form the main required assessment methods.
•
Stage of the assessment process
Appropriateness of assessment planning – as this has proved problematic in the past with assessors being
too vague leaving learners uncertain as to how to proceed.
•
Sampling of other units
As the centre is small, learners will have one other unit sampled to ensure that over the period, the IQA is
sampling all the other units which are undertaken by the learner group; all the assessment methods and all
stages of the assessment process.
•
Additional sampling for new or unqualified assessors
The plan also indicates additional sampling for:
- The unqualified assessor (who is also the tutor) during the period that the TAQA units are being
undertaken. This will be reduced when they achieve the qualification and the IQA is confident that they are
secure within their practice.
NB The assessment decisions taken by unqualified assessors, must be confirmed and countersigned by a
qualified assessor.
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EXEMPLAR PLAN
INTERNAL QUALITY ASSURANCE SAMPLING PLAN AND RECORD
Qualification: Health &Social Care
Standardisation unit: Unit 1 (Communication) across all levels
Name of IQA:
Assessor
Assessor
Status
Assessment
Site
Candidates
Units that have been assessed. Units to be sampled by
the IQA according to the sampling plan are shaded.
Any variations from the plan are in bold
Part of the
assessment
process
reviewed
Method of
Assessment
checked
A
Q
Leeds
L2
TS
1
2
3
4
5
6
1. DO/EWT
P
L3
AG
1
2
3
4
5
6
7
8
DO/EWT
L4
RA
1
2
3
4
5
6
7
8
DO/EWT
L2
AX
1
2
3
4
5
6
DO/EWT
L2
BX
1
2
3
4
5
6
DO/EWT
P
JG
1
2
3
4
5
6
DO/EWT
P
1
2
3
4
5
6
DO/EWT
P
1
2
3
4
5
6
DO/EWT
P
2. WP
B
C
Q
NSNQ
Bradford
Barnsley
L2
Key -
R
P
S
R
P
RPL
R
P
PD
R
F
R FC
F
7
8
R
agreed sampling
additional sampling until tutor/assessor confident re: centre practices
Assessor Status
Q – Qualified
NQ – Not Qualified
NSQ – New staff qualified
NSNQ – New staff not qualified
Method of Assessment
DO – Direct Observations
EWT – Expert Witness Testimony
WT – Witness Testimony
APCS – Assignment / Project / Case Study
Assessment Process
P – Planning
R – Review
F – Feedback
FC – Final Check
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RPL – Recognition of Prior Learning
WP – Work Product
Q – Questions
S - Simulation
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Rationale/reasons for varying from the plan:
Date
15/05/11
Tutor/assessor is unqualified so will be subject to additional sampling and early observation by IQA. All decisions will be
countersigned until qualified.
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EXEMPLAR CENTRE TWO
There are extra layers of planning which need to be undertaken by the centre quality assurance co-ordinator and
the team of IQA co-ordinators, designed to ensure that there will be standardisation of activity across the whole
centre i.e. all qualifications, all satellites or assessment locations and all IQAs.
Accordingly, at the stage when the IQA sampling plan is in the hands of the individual IQA, it will look no different
to the plan agreed for the small centre as all the same requirements need to be met, namely:
•
•
•
Additional support / scrutiny of qualified but new assessors
That a suitable amount of the judgements made by unqualified assessors is overseen and countersigned
Standardisation activities across the tutors/assessors and IQAs within each qualification.
QAC/IQAC planning
This centre wishes to focus upon health and safety. Therefore for this year the health and safety unit will be
sampled for all learners and all qualifications / levels.
The purpose is to:
• Standardise tutor delivery and assessment practice
• Review health and safety practice and training across all assessment sites particularly as there have been
concerns that in one area or qualification assessors are either too lenient or demanding when reaching
assessment judgements.
The following policy consists of the instructions to each IQA, outlining responsibilities to ensure compliance with
the strategy agreed by the QAC and IQAC team.
The plan
This IQA plan outlines the internal quality assurance procedures and record keeping requirements agreed by the
quality assurance co-ordinator and IQACs for this S/NVQs/VQs/QCF qualifications assessment centre.
Each IQA must use the centre internal quality assurance procedures and associated recording documentation.
IQA induction:
• IQACs must ensure that the IQA has a copy of this document and understands the procedures and record
keeping requirements described.
• All unqualified IQAs will have their internal quality assurance decisions overseen and countersigned by a
qualified IQA.
Procedure for implementing the qualifications internal quality assurance procedure and sampling plan
(This should be used in conjunction with the centre learner database)
This plan identifies the centre strategy for internal quality assurance. It is developed and monitored by the
QAC/IQAC team to ensure that the internal quality assurance procedure is standardised throughout the centre.
Each IQA is responsible for working to the agreed sampling plan.
The IQA must check with the IQAC/QAC if unclear about the procedures and/or recording requirements.
• The IQA is reminded that when using the minimum internal quality assurance processes allowable, the
activities must be carried out throughout the period of assessment. Under no circumstances must internal
quality assurance only take place towards, or at the end of learner assessment.
• A single unit will be identified by the IQAC/QAC for all IQAs to sample across all tutors and/or assessors. This
will form part of the centre standardisation process. The IQA must ensure this unit is included in their sample.
For this year the unit will be the health and safety unit.
• For unqualified assessors or assessors who are qualified but new to the centre, sampling a minimum of three
units at different points in each learner’s period of learning and assessment is required.
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•
•
•
•
•
•
•
For qualified assessors who have current experience of assessing within the organisation a minimum of two
units will be sampled at different points in each learner’s period of learning and assessment.
In both instances the IQA will also need to focus on all additional areas of internal quality assurance
responsibility, eg monitoring practice by carrying out observations.
The IQA may increase the extent of the sampling beyond the above if there are concerns about practice.
The sampling rationale identified will be reviewed every 12 months.
The IQA must complete the internal quality assurance sampling plan and record at the beginning of the
qualification for all their tutors and assessors.
The internal quality assurance sampling plan and record ensures that all aspects of the learning and
assessment process are sampled. Keeping records will allow the IQA, the IQAC/QAC and external quality
assurer to ensure that the agreed process is being applied.
Where it is necessary to vary from the sampling plan, the reasons should be recorded and the variations
added to the internal quality assurance sampling plan and record.
NB: The IQA is reminded that they must sign against the units sampled on Form S/NVQs/VQs/QCF qualifications
Summary of Achievement and each evidence item sampled must be initialled. This indicates that IQA sampling
has taken place.
(Green pen should be avoided where possible, as this colour is often used by EQAs to evidence their sampling
activity.)
The qualified assessor supporting unqualified assessor judgements must countersign all the relevant units on
Form S/NVQs/VQs/QCF qualifications 12 – Summary of Achievement.
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